Domestic Bank Regulation In A Global Environment - A Comparative Dialogue,
2013
University of North Carolina School of Law
Domestic Bank Regulation In A Global Environment - A Comparative Dialogue, Lissa Broome, Michael Helfer, Cyrus Amir-Mokri, Chris Brummer
North Carolina Banking Institute
No abstract provided.
Sweeping Away The Cobwebs: North Carolina's Banking Law Modernization Act,
2013
University of North Carolina School of Law
Sweeping Away The Cobwebs: North Carolina's Banking Law Modernization Act, E. Knox Proctor, Todd H. Eveson
North Carolina Banking Institute
No abstract provided.
Increased Bank Liability For Online Fraud: The Effect Of Patco Construction Co. V. People's United Bank,
2013
University of North Carolina School of Law
Increased Bank Liability For Online Fraud: The Effect Of Patco Construction Co. V. People's United Bank, Robert K. Burrow
North Carolina Banking Institute
No abstract provided.
Anti-Money Laundering Compliance: Only Mega Banks Need Apply,
2013
University of North Carolina School of Law
Anti-Money Laundering Compliance: Only Mega Banks Need Apply, Ernest L. Simons Iv
North Carolina Banking Institute
No abstract provided.
Early Stage Sbics: A New Source Of Capital For Private Investors, Equity For Start-Ups, And Possible Volcker Rule Exemption For Banks,
2013
University of North Carolina School of Law
Early Stage Sbics: A New Source Of Capital For Private Investors, Equity For Start-Ups, And Possible Volcker Rule Exemption For Banks, Ethan D. Dunn
North Carolina Banking Institute
No abstract provided.
North Carolina Community Banks: Survival Strategies For Turbulent Times,
2013
University of North Carolina School of Law
North Carolina Community Banks: Survival Strategies For Turbulent Times, Adam R. Lewis
North Carolina Banking Institute
No abstract provided.
Governing Financial Markets: Regulating Conflicts,
2013
University of Washington School of Law
Governing Financial Markets: Regulating Conflicts, Kristin N. Johnson
Washington Law Review
Payment, clearing, and settlement systems constitute a central component in the infrastructure of financial markets. These businesses provide channels for executing the largest and smallest commercial transactions in local, national, and international financial markets. Notwithstanding this significant role, there is a dearth of legal scholarship exploring central clearing counterparties (CCPs) and their contributions to the regulation of financial markets. To address this gap in the literature, this Article sketches the contours of the theory that frames regulation within financial institutions and across financial markets, examines the merits of implementing CCPs, and explores the role of CCPs as primary regulators within …
The Potential Cost And Value Of Erm,
2013
University of Maryland Francis King Carey School of Law
The Potential Cost And Value Of Erm, Michelle M. Harner
Faculty Scholarship
The concept of enterprise risk managment (ERM) as a holistic approach to managing a company's risk profile has tremendous appeal. However, companies are frequently skeptical about its value and whether the results will justify the cost, effort, and challenges of implementing a meaningful ERM process. This report considers some of those concerns and highlights the governance, compliance, and cultural value of ERM.
Domestic Bank Regulation In A Global Environment - A Comparative Dialogue,
2013
Cornell Law School
Domestic Bank Regulation In A Global Environment - A Comparative Dialogue, Robert C. Hockett
Cornell Law Faculty Publications
No abstract provided.
China's Foreign Invested Partnership Enterprise Law: The Lifeless Or Sleeping Dragon?,
2013
University of Washington School of Law
China's Foreign Invested Partnership Enterprise Law: The Lifeless Or Sleeping Dragon?, Samuel H. Shaddox
Washington International Law Journal
Investors and the Chinese government tout the March 2010 authorization of the Foreign Invested Partnership as an exciting new method for foreign investment in China. However, this comment argues that the Foreign Invested Partnership is not likely to become a vibrant short or long-term platform for foreign direct investment. The historical trends of China’s three other vehicles for foreign direct investment from 1979 to the present provide two key conclusions. First, foreign investors will not utilize Foreign Invested Partnerships until they receive detailed implementing regulations from China’s central government. Second, support or restrictions from the Chinese government can drive or …
Advising The Individual Investor: Comparing The Federal Regulation Of Investment Advisers, Banks, And Broker-Dealers,
2013
Pepperdine University
Advising The Individual Investor: Comparing The Federal Regulation Of Investment Advisers, Banks, And Broker-Dealers, Alan M. Ahart
Pepperdine Law Review
No abstract provided.
Systemic Risk And Dodd-Frank's Volcker Rule,
2013
William & Mary Law School
Systemic Risk And Dodd-Frank's Volcker Rule, Julie A.D. Manasfi
William & Mary Business Law Review
With the recent global financial crisis starting in 2007, the issue of “systemic risk” has attracted much attention in our financial system. Some legislators have asserted that proprietary trading by banking entities, generally the trading of financial instruments for a banking entity’s own account, played a critical role in the recent global financial crisis. These sentiments parallel arguments that the practices of banks and their securities affiliates in the 1920s were partly responsible for the stock market crash of 1929 and subsequent Great Depression. At the heart of these assertions is the issue of whether combining the businesses of commercial …
How To Accomplish A Successful Tax-Free Pension Plan Rollover,
2013
Pepperdine University
How To Accomplish A Successful Tax-Free Pension Plan Rollover, Steven T. Graham
Pepperdine Law Review
Advising a client how to accomplish a tax-free rollover from one pension plan to another has been an area of confusion for the general practitioner. In order to end this confusion the author examines recent statutory amendments, Internal Revenue Service rulings and the Employee Retirement Income Security Act. The author then outlines, in conjunction with the recent changes in the law, potential pension plan rollover scenarios that can aid the client. After a thorough discussion of the available rollovers and the benefits and drawbacks of each, the author concludes with a chart designed to provide quick identification of the most …
Alternatives For Small Business Raising Capital Under The Securities Act Of 1933,
2013
Pepperdine University
Alternatives For Small Business Raising Capital Under The Securities Act Of 1933, David H. Barber
Pepperdine Law Review
The problems encountered by the business community in raising capital for new or small businesses has spurned implementation of responsive policy and regulations by the Securities and Exchange Commission. As a result of input from a series of nationwide small business hearings, the S.E.C. has recently demonstrated its commitment to aiding capital raising needs. This was accomplished by creating an Office of Small Business Policy to respond to the effects of major new changes to the Securities Act of 1933 which seek to facilitate the process of capitalization of small business. Professor David H. Barber, of Brigham Young University's J. …
Recent Legislative Changes As To The Reporting And Payment Of The Gift Tax: A Step Toward Tax Simplification,
2013
Pepperdine University
Recent Legislative Changes As To The Reporting And Payment Of The Gift Tax: A Step Toward Tax Simplification, Harry F. Byrd Jr.
Pepperdine Law Review
The overly complex nature of the nation's tax laws has spurred congressional action to simplify the tax code. United States Senator Harry F. Byrd, Jr. has demonstrated his commitment toward this goal by his recent introduction of the Annual Gift Tax Return Act. This measure, enacted as part of the Economic Recovery Tax Act of 1981, provides a return to the system of annual gift tax reporting. More significantly, it demonstrates that simplification of the tax laws can be achieved without sacrificing other goals, and without additional costs to the taxpayer.
Effects Of The New Bankruptcy Code On Creditors With Secured Claims In Residential Real Property,
2013
Pepperdine University
Effects Of The New Bankruptcy Code On Creditors With Secured Claims In Residential Real Property, Richard Mednick
Pepperdine Law Review
The sweeping changes brought about by the Bankruptcy Reform Act of 1978 may have a profound effect on the secured interests of lenders. The rights of a creditor against a debtor, and the procedure that he must follow vary with the chapter of the new Bankruptcy Code under which the debtor files his claim. Richard Mednick, a Judge on the Bankruptcy Court for the Central District of California, explains the procedures required and the interest affected by the most commonly invoked chapters of the new code. Judge Mednick strongly urges that creditors become familiar with these changes, as some new …
Was The Congressional Grant Of 'Bailout' Authority To Treasury Secretary Henry Paulson Really So "Unprecedented?": A Historical Analysis And Comparison Of Treasury Secretary Authority During Financial Crisis,
2013
Pepperdine University
Was The Congressional Grant Of 'Bailout' Authority To Treasury Secretary Henry Paulson Really So "Unprecedented?": A Historical Analysis And Comparison Of Treasury Secretary Authority During Financial Crisis, Zachary Cormier
The Journal of Business, Entrepreneurship & the Law
No abstract provided.
Horse Syndication: A Sure Footed Winner In The Investment Sweepstakes,
2013
Pepperdine University
Horse Syndication: A Sure Footed Winner In The Investment Sweepstakes, Thomas R. Catanese
Pepperdine Law Review
Recent changes in the scheme of federal taxation coupled with increasing interest in the equine industry has propelled that industry into the forefront of tax sheltered investments. In this article the author takes an in-depth look at the federal securities and tax law aspects of a typical equine syndication as a tax sheltered investment.
An Analysis Of Bank Defenses To Check Forgery And Alteration Claims Under Uniform Commercial Code Articles 3 And 4: Claimant's Negligence And Failure To Give Notice,
2013
Pepperdine University
An Analysis Of Bank Defenses To Check Forgery And Alteration Claims Under Uniform Commercial Code Articles 3 And 4: Claimant's Negligence And Failure To Give Notice, John W. Hinchey
Pepperdine Law Review
In addressing the dual issues of check forgeries and alteration claims faced by many banks, the Uniform Commercial Code sets forth a system of rights and obligations to remedy these problems. In addition, Articles Three and Four also present an array of bank defenses, the availability of which are largely determined by the bank's position in this system. In this article, the author analyzes the inconsistencies and uncertainties inherent in this framework, and determines that there is much room for creativity on the part of banker's counsel in this area.
Antitrust And California's New Preferred Provider Organization Legislation: A New Alternative In Health Care Cost Containment ,
2013
Pepperdine University
Antitrust And California's New Preferred Provider Organization Legislation: A New Alternative In Health Care Cost Containment , Carol A. Woo
Pepperdine Law Review
No abstract provided.
